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Tag Archives: CFTC
CFTC Settles with MF Global for $1.2 Billion
CFTC v. MF Global, Inc. et al., Case No. 1:11-cv-07866-VM (S.D.N.Y.). On November 18, 2013, the CFTC announced a settlement with MF Global Inc. (“MF Global”) requiring it to pay $1.212 billion in restitution to customers and a $100 million … Continue reading
President Obama Nominates Treasury Department Official Timothy Massad to Head the CFTC
On November 12, President Obama announced the nomination of Timothy Massad to replace Gary Gensler as chairman of the CFTC.
CFTC Obtains Restraining Order Against Commodity Pool Operator and Trading Advisor AlphaMetrix
CFTC v. AlphaMetrix, LLC, Case No. 1:13-cv-7896 (N.D. Ill.) On November 6, 2013, the CFTC announced charges against AlphaMetrix, LLC (“AlphaMetrix”), a Commodity Pool Operator and Commodity Trading Advisor. The CFTC alleges that AlphaMetrix misappropriated funds belonging to commodity pools … Continue reading
CFTC Settles Libor Case against Rabobank for $475 Million
In the Matter of Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A., CFTC Docket No. 14-02. On October 29, 2013, the CFTC announced the filing of a Settled Order Instituting Proceedings against Coöperatieve Centrale Raiffeisen-Boerenleenbank B.A. (“Rabobank” or the “Bank”) for the alleged false … Continue reading
CFTC Releases Annual FY 2013 Results for the Enforcement Division
On October 24, 2013, the CFTC announced the results of its enforcement program for fiscal year 2012 (“FY13”), and they are revealing. The most significant point is the numbers – the CFTC filed 82 enforcement cases, which is just 20 … Continue reading
CFTC Filed Settled Charges against JP Morgan in Connection with the “London Whale” Swaps Trades
In the Matter of JPMorgan Chase Bank, N.A., CFTC Docket No. 14-01. On October 16, 2013, the CFTC announced it issued a settled Order against JPMorgan Chase Bank, N.A. (“JPMorgan”) in connection with the trading of certain credit default swaps … Continue reading
CFTC Charges Lions Wealth Holdings in Alleged Multi-Million Dollar Precious Metals Scheme
CFTC v. Lions Wealth Holdings, Inc. et al, Case No. 2:13-cv-01787 (D. Nev.). On September 30, 2013, the CFTC announced fraud charges against Lions Wealth Holdings, Inc. and Lions Wealth Services, Inc., both doing business as Lions Wealth Capital (collectively, … Continue reading
CFTC Closes Investigation of Silver Markets without Recommending Enforcement Actions
On September 25, 2013, the CFTC’s Division of Enforcement announced it has closed the investigation that was publicly confirmed in September 2008 concerning silver markets without recommending any charges. Although the CFTC rarely comments on opening or closing investigations, the … Continue reading
CFTC Charges Worth Group, Inc., Andrew Wilshire and Eugenia Mildner in Alleged Precious Metal Scheme
CFTC v. Worth Group, Inc., Andrew Wilshire, and Eugenia Mildner, Case No. 9:13-cv-80796 (S.D. Fla.). On August 13, 2013, the CFTC announced fraud charges against Worth Group Inc., its owner, Andrew Wilshire, and its director, Eugenia Mildner. According to the … Continue reading
SEC Freezes Assets of Kevin G. White in Alleged Forex Trading Scam
SEC v. Kevin G. White et al., Case No. 4:13-cv-00383 RAS (E.D. Tex.). On July 12, 2013, the SEC announced it obtained an emergency court order to freeze the assets of Kevin G. White and his companies. The Commodity Futures … Continue reading
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Tagged CFTC, Forex, Fraud, SEC, Securities Act, Securities Exchange Act
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